| S.No. |
ENTITY |
PERSONS |
REGULATORY CHARGES |
REGULATORY ACTION(S) / DATE OF ORDER |
FURTHER DEVELOPMENTS |
| 261 |
|
CHIRAG BALCHAND SHAH (HUF)
(PAN:AADHC1114Q)
|
|
|
ALLEGED INDULGENCE IN FRONT RUNNING THE TRADES OF MARCELLUS GROUP ENTITIES VIOLATING SECTIONS 12A(A) TO 12A(C) AND 12A(E) OF SEBI ACT, 1992 AND REGULATIONS 3(A) TO 3(D), 4(1) AND 4(2) (Q) OF SEBI (PFUTP) REGULATIONS, 2003
|
REACHED SETTLEMENT (SETTLEMENT CHARGES RS.44,00,000, DISGORGEMENT AMOUNT RS.11,18,220 VIDE CONSENT ORDER)
REACHED SETTLEMENT (CONSENT ORDER) (AGREED VOLUNTARILY TO BE DEBARRED FROM SECURITIES MARKET) FROM 03-OCT-2025 TO 02-APR-2026
03-OCT-2025
|
|
| 262 |
|
|
CHL STOCK CONCEPTS PVT.LTD.
(PAN:AADCC7495F)
|
|
|
|
CHIRAG MAHENDRA SHAH
PAN:AAQPS1679F
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING CLAUSES (A) TO (C) AND (E) OF SECTION 12A AND CLAUSES (A) TO (D) OF REGULATION 3, SUB REGULATION (1) OF REGULATION 4, CLAUSE (Q) OF SUB REGULATION (2) REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 2003
|
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 26-APR-2024 TO 25-APR-2027
DIRECTED TO CREDIT/DEPOSIT WRONGFUL GAINS INTO INTEREST BEARING ESCROW ACCOUNTS OR SAVING ACCOUNTS WITHIN FIFTEEN DAYS FROM DATE OF ORDER AND AMOUNT NOT TO BE RELEASED WITHOUT PERMISSION FROM SEBI
DIRECTED BANKS THAT NO DEBIT SHALL BE MADE WITHOUT PERMISSION OF SEBI EXCEPT FOR THE PURPOSE OF TRANSFER OF FUNDS TO ESCROW ACCOUNT
DIRECTED DEPOSITORIES THAT NO DEBIT TO BE MADE WITHOUT PERMISSION OF SEBI
DIRECTED BANKS AND/OR DEPOSITORIES AND/OR CUSTODIANS TO ENSURE STRICT ENFORCEMENT OF DIRECTIONS
DIRECTED REGISTRAR AND TRANSFER AGENTS TO ENSURE THAT SECURITIES (INCLUDING MF UNITS) IN PHYSICAL FORM NOT TO TRANSFER /REDEEM WITHOUT CONFIRMATION OF CONCERNED STOCK EXCHANGES
DIRECTED NOT TO DISPOSE OF OR ALIENATE ANY OF THEIR ASSETS / PROPERTIES / SECURITIES, TILL SUCH TIME UNLAWFUL GAINS ARE CREDITED TO ESCROW ACCOUNT
DIRECTED TO PROVIDE FULL INVENTORY OF ASSETS, MOVABLE OR IMMOVABLE, OR ANY INTEREST OR INVESTMENT OR CHARGE IN ANY OF SUCH ASSETS, INCLUDING DETAILS OF ALL BANKS & DEMAT ACCOUNTS AND/OR MUTUAL FUNDS INVESTMENTS
26-APR-2024
DIRECTED TO DISGORGE RS.21,29,930 ALONG WITH OTHER ENTITIES/PERSONS
27-APR-2026
|
SAT: SAT VIDE ITS ORDER DATED 28/06/2024 CONDONED THE DELAY OF 13 DAYS IN FILING OF APPEAL. GRANTED APPELLANT EIGHT WEEKS TO FILE REPLY FROM DATE OF THIS ORDER AND REJOINDER, IF ANY, TO BE FILED WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 02/09/2024 GRANTED APPELLANT THREE WEEKS TO FILE REJOINDER
SEBI VIDE ITS ORDER DATED 27/04/2026 DIRECTED TO A) RESTRAINED FROM ACCESSING SECURITIES MARKET AND ARE PROHIBITED FROM BUYING, SELLING OR OTHERWISE DEALING IN SECURITIES, DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FOR FURTHER THIRTY FOUR MONTHS B) DISGORGE UNLAWFUL GAINS RS.21,29,930.15 WITH SIMPLE INTEREST @12% P.A. FROM END OF INVESTIGATION PERIOD I.E.31/05/2022 TILL DATE OF DEPOSIT OF UNLAWFUL GAINS
SAT: SAT VIDE ITS ORDER DATED 22/06/2026 ALLOWED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY TO BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED DEBARMENT SUBJECT TO DEPOSIT RS.21.74 LAC DISGORGEMENT AMOUNT AND RS.41 LAC PENALTY AMOUNT
SAT: SAT VIDE ITS ORDER DATED 03/07/2026 ALLOWED RESPONDENT EIGHT WEEKS TO FILE REPLY AND REJOINDER, IF ANY, TO BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED IMPUGNED ORDER SUBJECT TO DEPOSIT OF 100% PENALTY WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 263 |
|
|
CHL STOCK CONCEPTS PVT.LTD.
(PAN:AADCC7495F)
|
|
|
INDULGED IN FRONT RUNNING TRADING ACTIVITIES VIOLATING CLAUSES (A) TO (C) AND (E) OF SECTION 12A AND CLAUSES (A) TO (D) OF REGULATION 3, SUB REGULATION (1) OF REGULATION 4, CLAUSE (Q) OF SUB REGULATION (2) REGULATION 4 OF SEBI (PFUTP) REGULATIONS, 2003
|
IMPOSED PENALTY RS.20,00,000
27-APR-2026
|
SEBI VIDE ITS ORDER DATED 27/04/2026 IMPOSED PENALTY OF RS.20 LAC U/S 15HA OF SEBI ACT.
SAT: SAT VIDE ITS ORDER DATED 22/06/2026 ALLOWED RESPONDENT SIX WEEKS TO FILE REPLY AND REJOINDER, IF ANY TO BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED DEBARMENT SUBJECT TO DEPOSIT RS.21.74 LAC DISGORGEMENT AMOUNT AND RS.41 LAC PENALTY AMOUNT
SAT: SAT VIDE ITS ORDER DATED 03/07/2026 ALLOWED RESPONDENT EIGHT WEEKS TO FILE REPLY AND REJOINDER, IF ANY, TO BE FILED WITHIN THREE WEEKS THEREAFTER. STAYED IMPUGNED ORDER SUBJECT TO DEPOSIT OF 100% PENALTY WITHIN FOUR WEEKS FROM DATE OF THIS ORDER
|
| 264 |
|
|
CHOUDHARY GLOBAL LTD.
(PAN:AAACB3270G)
|
|
|
DID NOT PROVIDE INFORMATION/DOCUMENTS SOUGHT VIDE SUMMON IN MATTER OF TARAPUR TRANSFORMERS LTD.
AIDED AND ABETTED TARAPUR TRANSFORMERS LTD.IN DIVERSION OF RS.31.46 CRORE VIOLATING SECTIONS 12A(B) AND 12A(C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(C) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF TARAPUR TRANSFORMERS LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 31-AUG-2026 TO 30-AUG-2029
31-AUG-2026
|
|
| 265 |
|
|
CHROMATIC INDIA LTD.
(PAN:AAACC6220B)
|
|
|
|
VINOD KUMAR KAUSHIK
PAN:AMAPK7964P
|
|
DID NOT MAKE CORRECT DISCLOSURE TO STOCK EXCHANGES ABOUT SUBSCRIPTION OF GDR ISSUE VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1) OF PFUTP REGULATIONS, 2003 IN MATTER OF CHROMATIC INDIA LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-SEP-2019 TO 29-SEP-2022
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2019 TO 29-SEP-2022
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-SEP-2019
|
|
| 266 |
|
|
CHROMATIC INDIA LTD.
(PAN:AAACC6220B)
|
|
|
|
AJAY SETHI
PAN:AIDPS3802K
|
|
DID NOT MAKE CORRECT DISCLOSURE TO STOCK EXCHANGES ABOUT SUBSCRIPTION OF GDR ISSUE VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1) OF PFUTP REGULATIONS, 2003 IN MATTER OF CHROMATIC INDIA LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 30-SEP-2019 TO 29-SEP-2020
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2019 TO 29-SEP-2020
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-SEP-2019
|
|
| 267 |
|
|
CHROMATIC INDIA LTD.
(PAN:AAACC6220B)
|
|
|
|
AJAY SETHI
PAN:AIDPS3802K
|
|
|
VINOD KUMAR KAUSHIK
PAN:AMAPK7964P
|
|
DID NOT MAKE CORRECT DISCLOSURE TO STOCK EXCHANGES ABOUT SUBSCRIPTION OF GDR ISSUE VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1) OF PFUTP REGULATIONS, 2003 IN MATTER OF CHROMATIC INDIA LTD.
DID NOT ADHERE TO PROVISION OF ACCOUNTING STANDARD VIZ AS-1, AS-3 AND AS-29 VIOLATING CLAUSES 32 AND 50 OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
DID NOT MAKE CORRECT DISCLOSURE TO STOCK EXCHANGES OF PLEDGE OF GDR PROCEEDS VIOLATING CLAUSE 36(7) OF LISTING AGREEMENT READ WITH SECTION 21 OF SCRA, 1956
|
IMPOSED PENALTY RS.10,20,00,000
31-MAR-2020
|
SEBI VIDE ITS NOTICE DATED 15/11/2021 DIRECTED ALL THE BANKS AND MUTUAL FUNDS IN INDIA AND/OR NSDL/CDSL TO 1. ATTACH ALL THE ACCOUNTS BY WHATEVER NAME CALLED INCLUDING LOCKERS EITHER SINGLY OR JOINTLY WITH ANY PERSON/S AND ALL OTHER AMOUNT/PROCEEDS DUE OR MAY BECOME DUE OR ANY MONEY HELD OR MAY SUBSEQUENTLY HOLD FOR ON ACCOUNT OF THE DEFAULTERS AND 2. NOT TO DEBIT ANY AMOUNT IN THE SAID ACCOUNT/S.HOWEVER CREDITS, IF ANY, INTO THE ACCOUNT MAY BE ALLOWED
SEBI VIDE ITS ORDER DATED 18/11/2021 DIRECTED ALL THE BANKS TO REMIT RS 12,20,20,946.00 TO THE EXTENT LYING IN THE ACCOUNT OF CHROMATIC INDIA LTD. TO SEBI BY WAY OF EFT/NEFT/RTGS
SEBI VIDE ITS ORDER DATED 28/12/2021 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES LISTED IN ORDER C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL MOVABLE AND IMMOVABLE PROPERTIES HELD BY DEFAULTERS AND CHARGES, IF ANY DULY CERTIFIED ALL THE TITLE DEEDS AND VALUATION REPORTS WITHIN TONE WEEKS FROM DATE OF THIS ORDER D) DIRECTED INSPECTORS GENERAL OF REGISTRATION OF MAHARASHTRA AND OTHER STATES/UNION TERRITORIES AND CONCERNED TEHSILDARS, DISTRICT REGISTRARS AND SUB-REGISTRARS (REVENUE) OF THE RESPECTIVE AREAS WHERE THE PROPERTIES ARE LOCATED E) NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED/HELD BY THE DEFAULTERS, IF PRESENTED FOR REGISTRATION
SEBI VIDE ITS ORDER DATED 04/04/2022 A) PROHIBITED FROM DISPOSING, TRANSFERRING, ALIENATING OR CHARGING IN RESPECT OF ALL THE IMMOVABLE AND MOVABLE PROPERTIES LISTED IN THE ORDER B) PROHIBITED FROM TAKING ANY BENEFIT UNDER SUCH DISPOSAL, TRANSFER, ALIENATION OR CHARGE IN RESPECT OF THE PROPERTIES C) DIRECTED TO FURNISH COMPLETE DETAILS OF ALL THE MOVABLE AND IMMOVABLE PROPERTIES HELD BY THE DEFAULTER AND CHARGE IF ANY AT SEBI HEAD OFFICE, MUMBAI, WITHIN ONE WEEK FROM DATE OF THIS ORDER D) CERTIFIED COPIES OF ALL THE TITLE DEEDS OF THE PROPERTY, VALUATION REPORTS OF THE PROPERTIES HELD BY DEFAULTERS WITHIN TWO WEEKS FROM DATE OF THIS ORDER E) DIRECTED CONCERNED TAHASILDARS/DISTRICT REGISTRAR AND SUB-REGISTRAR (REVENUE) OF THE AREAS WHERE THE PROPERTIES ARE LOCATED WITH DIRECTION NOT TO ACT UPON ANY DOCUMENTS PURPORTING TO BE DEALING WITH TRANSFER, MORTGAGE, CHARGE, LEASE OR CREATION OR ALTERATION OF ANY INTEREST IN ANY OF THE PROPERTIES OWNED/HELD BY THE DEFAULTERS, IF PRESENTED FOR REGISTRATION
|
| 268 |
|
|
CHROMATIC INDIA LTD.
(PAN:AAACC6220B)
|
|
|
|
VIPIN SHARMA
PAN:ABHPS7947N
|
|
DID NOT MAKE CORRECT DISCLOSURE TO STOCK EXCHANGES ABOUT SUBSCRIPTION OF GDR ISSUE VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1) OF PFUTP REGULATIONS, 2003 IN MATTER OF CHROMATIC INDIA LTD.
|
WARNED/DIRECTED TO BE MORE CAREFUL WHILE DEALING WITH SECURITIES MARKET
30-SEP-2019
|
|
| 269 |
|
|
CHROMATIC INDIA LTD.
(PAN:AAACC6220B)
|
|
|
DID NOT MAKE CORRECT DISCLOSURE TO STOCK EXCHANGES ABOUT SUBSCRIPTION OF GDR ISSUE VIOLATING SECTIONS 12(A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO 3(D) & 4(1) OF PFUTP REGULATIONS, 2003 IN MATTER OF CHROMATIC INDIA LTD.
|
RESTRAINED FROM ACCESSING SECURITIES MARKET INCLUDING BY ISSUING PROSPECTUS, OFFER DOCUMENT OR ADVERTISEMENT SOLICITING MONEY FROM PUBLIC FOR ISSUE OF SECURITIES IN ANY MANNER EITHER DIRECTLY OR INDIRECTLY FROM 30-SEP-2019 TO 29-SEP-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 30-SEP-2019 TO 29-SEP-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
30-SEP-2019
|
SAT: SAT VIDE ITS ORDER DATED 12/05/2021 DISMISSED THE APPEAL
|
| 270 |
|
|
CINEMA CAPITAL ADVISORY PVT.LTD.
(PAN:AADCC5601M)
|
|
|
|
BINAY CHANDRA MANDAL
PAN:AMFPM2093Q
|
|
|
SAMIR GUPTA
PAN:AAJPG8641C
|
|
|
SHASHANKA ASHOKKUMAR GHOSH
PAN:ACWPG5915E
|
|
DID NOT WIND UP SCHEME AND DISTRIBUTE PROCEEDS ACCRUING TO INVESTORS EVEN AFTER THE EXPIRY OF TENURE
DID NOT DISCLOSE INVESTMENT OBJECTIVE AND DID NOT ADHERE TO INVESTMENT RECTRICTIONS
EXTENDED LOANS AND ADVANCES TO INVESTEE COMPANIES AND ITS DIRECTORS AT NO INTEREST COST
EXTENDED LOANS AND ADVANCE TO TRUSTEE AND STAFF AT NO INTEREST COST
CHARGED EXCESS FEE FROM INVESTORS
DID NOT FILE QUARTERLY REPORTS TO SEBI
DID NOT REDRESS INVESTOR COMPLAINTS
MISMANAGEMENT OF INVESTOR’S FUNDS
|
IMPOSED PENALTY RS.10,00,000
30-APR-2025
|
|
| 271 |
|
|
CINEMA CAPITAL ADVISORY PVT.LTD.
(PAN:AADCC5601M)
|
|
|
|
BINAY CHANDRA MANDAL
PAN:AMFPM2093Q
|
|
|
SAMIR GUPTA
PAN:AAJPG8641C
|
|
|
SHASHANKA ASHOKKUMAR GHOSH
PAN:ACWPG5915E
|
|
DID NOT WIND UP SCHEME AND DISTRIBUTE PROCEEDS ACCRUING TO INVESTORS EVEN AFTER THE EXPIRY OF TENURE
DID NOT DISCLOSE INVESTMENT OBJECTIVE AND DID NOT ADHERE TO INVESTMENT RECTRICTIONS
EXTENDED LOANS AND ADVANCES TO INVESTEE COMPANIES AND ITS DIRECTORS AT NO INTEREST COST
EXTENDED LOANS AND ADVANCE TO TRUSTEE AND STAFF AT NO INTEREST COST
CHARGED EXCESS FEE FROM INVESTORS
DID NOT FILE QUARTERLY REPORTS TO SEBI
DID NOT REDRESS INVESTOR COMPLAINTS
MISMANAGEMENT OF INVESTOR’S FUNDS
|
DIRECTED TO FILE COMPLETE DETAILS OF SCHEME ALONGWITH DETAILS OF BANK ACCOUNTS PERTAINING TO THE SCHEME AND NOTICES, AMOUNT OF BALANCE AVAILABLE IN THOSE ACCOUNTS AND DETAILS OF ALL THE MOVABLE AND IMMOVABLE ASSETS PERTAINING TO THE SCHEME AND NOTICEE
DIRECTED TO ENSURE THAT THE SCHEME OF FUND WOUND UP BY PROVIDING EXIT TO ITS INVESTORS/UNIT HOLDERS
DIRECTED TO OBTAIN TWO SEPARATE VALUATIONS OF ALL REMAINING ASSETS OF SCHEME OF FUND FROM TWO INDEPENDENT AND/OR REGISTERED VALUERS
DIRECTED TO DETERMINE NAV OF THE SCHEME OF THE FUND BASED ON VALUATION REPORTS BY ADOPTING HIGHER OF VALUATION ARRIVED AT IN TWO VALUATION REPORTS
DIRECTED TO PROVIDE EXIT TO INVESTORS/UNIT HOLDERS FIRST BY OFFERING OPTION TO EXISTING INVESTORS/UNIT HOLDERS TO TAKE EXIT BY WAY OF IN SPECIE DISTRIBUTION OF INTEREST/RIGHTS/STAKES/SHARES, ETC. IN INVESTEE COMPANIES/PROJECTS
DIRECTED INVESTORS/UNIT HOLDERS WHO DO NOT EXERCISE THEIR OPTION FOR IN SPECIE DISTRIBUTION, TO BE GIVEN EXIT ON BASIS OF NAV DETERMINED AS PER DIRECTIONS
DIRECTED TO COMPLETE ENTIRE PROCESS OF WINDING UP OF SCHEME OF FUND AND PROVIDING EXIT TO INVESTORS/UNIT HOLDERS
DIRECTED TO FILE REPORT CERTIFIED BY CHARTERED ACCOUNTANT DECLARING THAT ALL THE INVESTORS OF SCHEME HAVE BEEN PROVIDED EXIT AND SCHEME OF FUND STANDS WOUND UP AND REPORT TO BE FILED WITHIN THREE WEEKS AFTER COMPLETION OF THE EXIT AND REPAYMENT TO INVESTORS/UNIT HOLDERS OF SCHEME
RESTRAINED FROM ASSOCIATING DIRECTLY OR INDIRECTLY, WITH ANY REGISTERED INTERMEDIARIES INCLUDING SEBI REGISTERED FUNDS SUCH AS MUTUAL FUNDS, ALTERNATIVE INVESTMENT FUNDS, PORTFOLIO MANAGEMENT SERVICES ETC. WHICH DEAL WITH INVESTOR’S MONEY IN ANY MANNER FROM 30-APR-2025 TO 29-APR-2028
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-APR-2025
|
SAT: SAT VIDE ITS ORDER DATED 09/06/2025 GRANTED THREE WEEKS TO FILE REPLY AND ONE WEEK TO FILE REJOINDER, IF ANY. STAYED DIRECTIONS AT PARAGRAPH 104.1 AND 104.6 SUBJECT TO DEPOSIT 50% PENALTY WITH RESPONDENT WITHIN THREE WEEKS FROM DATE OF THIS ORDER. SEBI CLARIFIED TO THE DEPOSITORIES THAT INDIVIDUAL ACCOUNTS OF NOTICEE NOS.5 AND 7 NEED NOT BE FROZEN
SAT: SAT VIDE ITS ORDER DATED 31/08/2026 GRANTED TIME AS A LAST CHANCE TO APPELLANTS TO REPORT THE DEVELOPMENT OR ARGUE TO MATTER ON NEXT DATE OF HEARING
|
| 272 |
|
|
CINEMA CAPITAL CONTRIBUTORY CO.PVT.LTD.
(PAN:AAECC3609A)
|
|
|
|
AMRIT LAL SURI
PAN:ABIPS3117K
|
|
|
BINAY CHANDRA MANDAL
PAN:AMFPM2093Q
|
|
|
URMILA GUPTA
PAN:AAEPG9149A
|
|
DID NOT WIND UP SCHEME AND DISTRIBUTE PROCEEDS ACCRUING TO INVESTORS EVEN AFTER THE EXPIRY OF TENURE
DID NOT DISCLOSE INVESTMENT OBJECTIVE AND DID NOT ADHERE TO INVESTMENT RECTRICTIONS
EXTENDED LOANS AND ADVANCES TO INVESTEE COMPANIES AND ITS DIRECTORS AT NO INTEREST COST
EXTENDED LOANS AND ADVANCE TO TRUSTEE AND STAFF AT NO INTEREST COST
CHARGED EXCESS FEE FROM INVESTORS
DID NOT FILE QUARTERLY REPORTS TO SEBI
DID NOT REDRESS INVESTOR COMPLAINTS
MISMANAGEMENT OF INVESTOR’S FUNDS
|
DIRECTED TO FILE COMPLETE DETAILS OF SCHEME ALONGWITH DETAILS OF BANK ACCOUNTS PERTAINING TO THE SCHEME AND NOTICES, AMOUNT OF BALANCE AVAILABLE IN THOSE ACCOUNTS AND DETAILS OF ALL THE MOVABLE AND IMMOVABLE ASSETS PERTAINING TO THE SCHEME AND NOTICEE
DIRECTED TO ENSURE THAT THE SCHEME OF FUND WOUND UP BY PROVIDING EXIT TO ITS INVESTORS/UNIT HOLDERS
DIRECTED TO OBTAIN TWO SEPARATE VALUATIONS OF ALL REMAINING ASSETS OF SCHEME OF FUND FROM TWO INDEPENDENT AND/OR REGISTERED VALUERS
DIRECTED TO DETERMINE NAV OF THE SCHEME OF THE FUND BASED ON VALUATION REPORTS BY ADOPTING HIGHER OF VALUATION ARRIVED AT IN TWO VALUATION REPORTS
DIRECTED TO PROVIDE EXIT TO INVESTORS/UNIT HOLDERS FIRST BY OFFERING OPTION TO EXISTING INVESTORS/UNIT HOLDERS TO TAKE EXIT BY WAY OF IN SPECIE DISTRIBUTION OF INTEREST/RIGHTS/STAKES/SHARES, ETC. IN INVESTEE COMPANIES/PROJECTS
DIRECTED INVESTORS/UNIT HOLDERS WHO DO NOT EXERCISE THEIR OPTION FOR IN SPECIE DISTRIBUTION, TO BE GIVEN EXIT ON BASIS OF NAV DETERMINED AS PER DIRECTIONS
DIRECTED TO COMPLETE ENTIRE PROCESS OF WINDING UP OF SCHEME OF FUND AND PROVIDING EXIT TO INVESTORS/UNIT HOLDERS
DIRECTED TO FILE REPORT CERTIFIED BY CHARTERED ACCOUNTANT DECLARING THAT ALL THE INVESTORS OF SCHEME HAVE BEEN PROVIDED EXIT AND SCHEME OF FUND STANDS WOUND UP AND REPORT TO BE FILED WITHIN THREE WEEKS AFTER COMPLETION OF THE EXIT AND REPAYMENT TO INVESTORS/UNIT HOLDERS OF SCHEME
RESTRAINED FROM ASSOCIATING DIRECTLY OR INDIRECTLY, WITH ANY REGISTERED INTERMEDIARIES INCLUDING SEBI REGISTERED FUNDS SUCH AS MUTUAL FUNDS, ALTERNATIVE INVESTMENT FUNDS, PORTFOLIO MANAGEMENT SERVICES ETC. WHICH DEAL WITH INVESTOR’S MONEY IN ANY MANNER FROM 30-APR-2025 TO 29-APR-2028
IMPOSED PENALTY RS.1,00,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-APR-2025
|
SAT: SAT VIDE ITS ORDER DATED 09/06/2025 GRANTED THREE WEEKS TO FILE REPLY AND ONE WEEK TO FILE REJOINDER, IF ANY. STAYED DIRECTIONS AT PARAGRAPH 104.1 AND 104.6 SUBJECT TO DEPOSIT 50% PENALTY WITH RESPONDENT WITHIN THREE WEEKS FROM DATE OF THIS ORDER. SEBI CLARIFIED TO THE DEPOSITORIES THAT INDIVIDUAL ACCOUNTS OF NOTICEE NOS.5 AND 7 NEED NOT BE FROZEN
|
| 273 |
|
|
CINEMA CAPITAL CONTRIBUTORY CO.PVT.LTD.
(PAN:AAECC3609A)
|
|
|
|
BINAY CHANDRA MANDAL
PAN:AMFPM2093Q
|
|
|
SAMIR GUPTA
PAN:AAJPG8641C
|
|
|
URMILA GUPTA
PAN:AAEPG9149A
|
|
DID NOT WIND UP SCHEME AND DISTRIBUTE PROCEEDS ACCRUING TO INVESTORS EVEN AFTER THE EXPIRY OF TENURE
DID NOT DISCLOSE INVESTMENT OBJECTIVE AND DID NOT ADHERE TO INVESTMENT RECTRICTIONS
EXTENDED LOANS AND ADVANCES TO INVESTEE COMPANIES AND ITS DIRECTORS AT NO INTEREST COST
EXTENDED LOANS AND ADVANCE TO TRUSTEE AND STAFF AT NO INTEREST COST
CHARGED EXCESS FEE FROM INVESTORS
DID NOT FILE QUARTERLY REPORTS TO SEBI
DID NOT REDRESS INVESTOR COMPLAINTS
MISMANAGEMENT OF INVESTOR’S FUNDS
|
IMPOSED PENALTY RS.10,00,000 ALONG WITH OTHER ENTITIES/PERSONS
30-APR-2025
|
SAT: SAT VIDE ITS ORDER DATED 09/06/2025 GRANTED THREE WEEKS TO FILE REPLY AND ONE WEEK TO FILE REJOINDER, IF ANY. STAYED DIRECTIONS AT PARAGRAPH 104.1 AND 104.6 SUBJECT TO DEPOSIT 50% PENALTY WITH RESPONDENT WITHIN THREE WEEKS FROM DATE OF THIS ORDER. SEBI CLARIFIED TO THE DEPOSITORIES THAT INDIVIDUAL ACCOUNTS OF NOTICEE NOS.5 AND 7 NEED NOT BE FROZEN
|
| 274 |
|
|
CITI SECURITIES & FINANCIAL SERVICES PVT.LTD.
(PAN:AACCC9559M)
|
|
|
INDULGED IN SIPHONING OFF HUGE AMOUNT OF FUNDS THROUGH COLLUSIVE NEXUS TO TRANSLATE PRE-ORDAINED SCHEME INTO ACTION RESULTING IN SIPHONING OFF FUNDS FROM RHFL’S ACCOUNTS, A MAJOR PORTION OF WHICH TO BE DECLARED NPA VIOLATING SECTION 12A(A) TO 12A(C) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO (D), 4(1), 4(2)(F) 4(2)(K) AND 4(2)(R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RELIANCE HOME FINANCE LTD.
|
SHOW CAUSE NOTICE ISSUED
11-FEB-2022
|
|
| 275 |
|
|
CITI SECURITIES & FINANCIAL SERVICES PVT.LTD.
(PAN:AACCC9559M)
|
|
|
MISREPORTED FINANCIALS OF RELIANCE HOME FINANCE LTD. AND ITS BOOKS OF ACCOUNTS FOR FY. 2018-19 VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT, 1992 READ WITH REGULATION 3(B) TO 3(D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF RELIANCE HOME FINANCE LTD.
|
DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 22-AUG-2024 TO 21-AUG-2029
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 22-AUG-2024 TO 21-AUG-2029
IMPOSED PENALTY RS.25,00,00,000
22-AUG-2024
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SEBI VIDE ITS NOTICE DATED 04/11/2024 DIRECTED TO PAY RS.26,00,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
SAT: SAT VIDE ITS ORDER DATED 14/11/2024 RECOVERY OF PENALTY TO REMAIN STAYED SUBJECT TO DEPOSIT 50% OF THE PENALTY AMOUNT WITH RESPONDENT WITHIN SIX WEEKS FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 17/01/2025 GRANTED RESPONDENT THREE WEEKS TO FILE REPLY AND APPELLANT TO FILE REJOINDER WITHIN FOUR WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 14/02/2025 GRANTED APPELLANT SIX WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 23/04/2025 CONDONED THE DELAY IN FILING OF APPEALS
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| 276 |
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CLIFFORD CAPITAL PARTNERS A.G.S.A.
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ISSUED AND ALLOTTED GDR WITHOUT DISCLOSING CRUCIAL DETAILS PERTAINING TO LOAN AND PLEDGE AGREEMENTS VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(B) TO (D) AND 4(2)(C), (F), (K) AND (R) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF IKF TECHNOLOGIES LTD.
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IMPOSED PENALTY RS.1,00,00,000
24-JUN-2020
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SEBI VIDE ITS NOTICE DATED 16/09/2025 DIRECTED TO PAY RS.1,64,01,000.00 WITHIN FIFTEEN DAYS FROM RECEIPT OF THIS NOTICE
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| 277 |
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CLIFFORD CAPITAL PARTNERS A.G.S.A.
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SUBSCRIBED GDR ISSUE BY OBTAINING LOAN FROM BANCO EFISA, LISBON AND SECURED BY PLEDGING ITS GDR PROCEEDS VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF MPS INFOTECNICS LTD. (FORMERLY KNOWN AS VISESH INFOTECNICS LTD.)
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RESTRAINED FROM ACCESSING SECURITIES MARKET AND FURTHER PROHIBITED FROM BUYING/SELLING OR OTHERWISE DEALING IN SECURITIES AND/OR UNITS OF MUTUAL FUNDS DIRECTLY OR INDIRECTLY OR BEING ASSOCIATED WITH SECURITIES MARKET IN ANY MANNER FROM 06-MAR-2020 TO 04-MAR-2025
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
06-MAR-2020
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SAT: SAT VIDE ITS ORDER DATED 30/06/2022 CONDONED THE DELAY IN FILING OF APPEAL AND ALLOWED APPELLANTS THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 08/12/2023 DISMISSED THE REVIEW APPLICATION
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| 278 |
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CLIFFORD CAPITAL PARTNERS A.G.S.A.
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SUBSCRIBED GDR ISSUE BY OBTAINING LOAN FROM BANCO EFISA ,LISBON AND THE SAME WAS SECURED BY KTL BY PLEDGING ITS GDR PROCEEDS VIOLATING SECTION 12A (A) TO (C) OF SEBI ACT, 1992 READ WITH REGULATIONS 3(A) TO (D) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF KASHYAP TECHNOLOGIES LTD.
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DEBARRED / RESTRAINED FROM ASSOCIATING WITH / ACCESSING CAPITAL MARKET / INTERMEDIARIES FROM 12-APR-2019 TO 11-APR-2024
DEBARRED/RESTRAINED FROM BUYING/SELLING/DEALING/IPOS IN SECURITIES/SPECIFIED SCRIPS DIRECTLY/INDIRECTLY FROM 12-APR-2019 TO 11-APR-2024
DIRECTED TO FREEZE EXISTING HOLDING OF SECURITIES, INCLUDING UNITS OF MUTUAL FUNDS
12-APR-2019
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SAT: SAT VIDE ITS ORDER DATED 23/12/2022 CONDONED THE DELAY IN FILING OF APPEAL AND GRANTED THREE WEEKS TO FILE REJOINDER FROM DATE OF THIS ORDER
SAT: SAT VIDE ITS ORDER DATED 13/02/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
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| 279 |
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CNBC AWAAZ
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INDULGED IN DEALING IN SECURITIES WHILE IN POSSESSION OF MATERIAL NON-PUBLIC INFORMATION VIOLATING SECTIONS 12A(A) TO 12A(C) OF SEBI ACT. 1992 AND REGULATIONS 3(A) TO 3(D) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF CNBC AWAAZ
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ADVISE TO TO PRESERVE AND MAINTAIN ALL RECORDS, DOCUMENTS, MATERIAL, VIDEO RECORDS ETC., ALONG WITH THEIR CONTENT, RELATED TO MR.PRADEEP PANDYA AND MR.ALPESH FURIYA AND CONCERNED SHOWS
04-OCT-2021
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SAT: SAT VIDE ITS ORDER DATED 17/11/2022 DIRECTED TO FILE REPLY WITHIN THREE WEEKS AND REJOINDER WITHIN THREE WEEKS THEREAFTER
SAT: SAT VIDE ITS ORDER DATED 05/01/2023 ALLOWED APPELLANT THREE WEEKS TO FILE REJOINDER
SAT: SAT VIDE ITS ORDER DATED 15/05/2023 CONDONED THE DELAY IN FILING OF APPEAL
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| 280 |
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COASTAL CONDUCTORS & INDUSTRIES PVT.LTD.
(CIN:U31200TG2009PTC062566
PAN:AADCC5889K)
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MISUSED THE FUNDS RAISED THROUGH PREFERENTIAL ALLOTMENT VIOLATING SECTIONS 12(A) TO 12A(B) OF SEBI ACT, 1992 AND REGULATIONS 3(B) TO 3(C) AND 4(1) OF SEBI (PFUTP) REGULATIONS, 2003 IN MATTER OF ABHISHEK INFRAVENTURES LTD.
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IMPOSED PENALTY RS.14,00,000 ALONG WITH OTHER ENTITIES/PERSONS
16-SEP-2022
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| The regulatory charges/regulatory actions may be fully or partly applicable to the entities/persons mentioned in the second column. |
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